Compliance & Ethics

The European Commission is sounding the alarm on compliance challenges at the EU’s borders, warning that customs checks are struggling to keep pace with the flood of goods entering through e-commerce channels. A new report released on August 29 highlights how non-compliant products, from unsafe electronics to environmentally hazardous items, continue slipping through, creating risks for both consumers and businesses that play by the rules.

On 28 August, the Securities and Futures Commission (SFC) reprimanded Deutsche Bank and imposed a $23.8 million fine after a series of investigations revealed regulatory breaches stretching back more than a decade. The problems ranged from sloppy fee processes to disclosure lapses that cut at the heart of market integrity.

Australia’s communications regulator has penalized Exetel nearly $472,505 (AUD 694,860) after uncovering serious breaches that left customers exposed to sophisticated mobile number fraud schemes.

The Commodity Futures Trading Commission (CFTC) is taking a major step toward modernizing its oversight capabilities by deploying Nasdaq’s advanced market surveillance technology. The move upgrades the agency’s decades-old legacy system with cross-market monitoring and automated fraud detection tools designed to protect U.S. derivatives markets.

TerraCom Limited will pay a $7.5 million penalty after admitting to victimizing a whistleblower, marking the Australian Securities and Investments Commission’s (ASIC) first enforcement outcome under the whistleblower provisions of the Corporations Act.

Australia’s corporate watchdog has launched civil penalty proceedings against Equity Trustees Superannuation Limited, alleging the trustee failed in its gatekeeping role when overseeing investments in the Shield Master Fund.

For eight years, one of the world’s biggest banks was publishing research on Hong Kong-listed companies with a blind spot. Key disclosures were either missing or wrong. Now, regulators have stepped in.